Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

Legislation Amending Volcker Rule Passes in House

bank pic

Banking, Investment Advisers The Investor Clarity and Bank Parity Act (HR 4096) passed in the U.S. House of Representatives. The Volcker Rule adopted by the regulators limited the ability of bank holding companies and their affiliates, including investment advisers, to sponsor covered funds.  Consequently, according to the current regulations, a covered fund cannot use the name of a […] Read more →

by   |   April 27, 2016

hedge fund

Brokaw Act to Increase Transparency of Activist Hedge Funds

Investment Advisers, M&A, Public Companies and Securities U.S. Senators Tammy Baldwin (D-WI) and Jeff Merkley (D-OR) introduced legislation to increase transparency and strengthen oversight of activist hedge funds. According to the... Read more →

by   |   March 21, 2016

shareholders

SEC Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client

Investment Advisers, Public Companies and Securities The SEC recently denied no-action relief to a request by Baker Hughes Incorporated to exclude a Rule 14a-8 shareholder proposal submitted by Newground Social Investment, SPC, a... Read more →

by   |   March 11, 2016

KuettelA_web

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities The U.S. House of Representatives passed three bills on February 1, 2016 that propose changes to the federal securities laws, including the Securities Act of 1933 (’33 Act) and... Read more →

by   |   February 3, 2016